Brian Scott Rothman

Employer firm

Morgan Stanley CRD 149777

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (investment companies)
Portfolio management (institutions)
Pension consulting
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-27
FL	RA	APPROVED	2020-02-07
NJ	RA	APPROVED	2017-02-16
TX	RA	APPROVED_RES	2017-02-15

NY RA
APPROVED

Since 2021-04-27
FL RA
APPROVED

Since 2020-02-07
NJ RA
APPROVED

Since 2017-02-16
TX RA
APPROVED_RES

Since 2017-02-15

Branch Locations

Miami Beach, FL • United States

15 Independence Boulevard 1St Floor, Warren, NJ 07059 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mercer Allied Company, L.P.	Florham Park	NJ	12/1994	01/2017
Morgan Stanley	Warren	NJ	01/2017	Present
Morgan Stanley Private Bank, National Association	New York	NY	04/2017	Present

12/1994 → 01/2017

Mercer Allied Company, L.P.

Florham Park, NJ
01/2017 → Present

Morgan Stanley

Warren, NJ
04/2017 → Present

Morgan Stanley Private Bank, National Association

New York, NY

Previous Registrations

2002-07-30 → 2017-01-10

Goldman Sachs Wealth Services, L.P.

Parsippany, NJ

Miami, FL

Other Businesses

*450130 - Warren Boys Pharma LLC; Investment related - Yes; Morristown, New Jersey; Investment/Finance/Banking; Partner (proprietor, partner, officer, director, employee, trustee, agent); 07/2021; During business hours: 0; After business hours: 1; Check Signing/Funds Disbursements

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-07-09
S63	Uniform Securities Agent State Law Examination	1985-03-13

S65 Uniform Investment Adviser Law Examination

2019-07-09
S63 Uniform Securities Agent State Law Examination

1985-03-13

View on SEC IAPD